Rodolfo Ruiz
Rodolfo Ruiz is a registered investment advisor at LPL Financial LLC, based in Westlake Village, CA, with 19 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
2555 Townsgate Rd Ste 300, Ste. 300, Westlake Village, CA, 91361
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Rodolfo works as an agent selling accident & health, life, and variable insurance products. This activity is investment-related.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Western International Securities, INC.Broker
Western International Securities
Sagepoint Financial, INC.
Sagepoint Financial, INC.Broker
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Wamu Investments, INC.
Wamu Investments, INC.Broker
Aig Financial Advisors, INC.Broker
State Registrations4 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.